Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Zachary Burton Seelbach | 7640885 | 2 | 09/24/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Melanie Elizabeth Pitnick | 6390617 | 1 | 08/26/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jack Cambon | 7086347 | 1 | 08/11/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nathaniel Goette Frasier | 7070934 | 1 | 08/07/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andy J Holmes | 6310142 | 1 | 07/30/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cody William Bertoglio | 6100371 | 1 | 07/19/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Taylor Greisinger | 5964029 | 1 | 05/16/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Julie A Shipman | 6617211 | 1 | 05/14/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kristina L Simpson | 6006525 | 1 | 04/04/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sarah Elizabeth Spivey | 6780799 | 1 | 03/13/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |